Contents Foreword Part 1 The awarding body 1 Section A Governance 1 Section B The awarding body and Qualifications Wales 8 Section C Third parties 13 Part 2 The regulated qualification 16 Section D General requirements for regulated qualifications 16 Section E Design and development of qualifications 21 Section F Providing qualifications to purchasers 22 Section G Setting and delivering the assessment 24 Section H From marking to issuing results 29 Section I Appeals and certificates 33 Section J Interpretation and definitions 45
The headings of each condition can be found below: A Part 1 The awarding body Governance A1 A2 A3 A4 A5 A6 A7 A8 Suitability for continuing recognition Establishment in the EU or the EFTA Safeguards on change control Conflicts of interest Availability of adequate resources and arrangements Identification and management of risks Management of incidents Malpractice and maladministration B B1 B2 B3 B4 B5 B6 B7 B8 The awarding body and Qualifications Wales The role of the responsible officer The annual statement to Qualifications Wales Notification to Qualifications Wales of certain events Notice to provide information to Qualifications Wales Representations regarding qualifications Cooperation with Qualifications Wales Compliance with regulatory documents Compliance with undertakings given to Qualifications Wales
C C1 C2 C3 Third parties Arrangements with third parties Arrangements with centres Arrangements with publishers D D1 D2 D3 D4 D5 D6 D7 D8 D9 Part 2 The regulated qualification Fitness for purpose of qualifications Accessibility of qualifications Reviewing approach Responding to enquiries and complaints procedures Compliance of qualifications with regulatory documents Compliance of units developed by others with regulatory documents Management of the withdrawal of qualifications Making available information to help meet teachers needs Awarding approved qualifications outside of Wales E E1 E2 E3 E4 E5 Design and development of qualifications Qualifications having an objective and support Requirements on qualification titling Publication of a qualification specification Ensuring an assessment is fit for purpose and can be delivered Assurance that qualifications comply with the conditions
E6 E7 E8 E9 E10 Submitting qualifications to the Database Total Qualification Time Credit Qualification and Component levels Recognition of Prior Learning F F1 F2 F3 Providing qualifications to purchasers Information on fees and features of a qualification Packaging qualifications with other products or services Invoicing G Setting and delivering the assessment G1 G2 G3 G4 G5 G6 G7 G8 G9 Information on fees and features of qualifications Language of the assessment Use of language and Stimulus Materials Maintaining confidentiality of assessment materials, including the conduct of specified training events Registration of Learners Arrangements for Reasonable Adjustments Arrangements for Special Consideration Completion of the assessment under the required conditions Delivering the assessment
H H1 H2 H3 H4 H5 H6 From marking to issuing results Marking the assessment Moderation where an assessment is marked by a centre Monitoring the specified levels of attainment for a qualification Adjudication by Qualifications Wales of specified levels of attainment for a qualification Results for a qualification must be based on sufficient evidence Issuing results I I1 I2 I3 I4 Appeals and certificates Appeals process Compliance with Qualifications Wales s appeals and complaints process The design and content of certificates Issuing certificates and replacement certificates J J1 Interpretation and definitions Interpretation and definitions
Foreword This document outlines the Interim Standard Conditions of Recognition which consists of the General Conditions of Recognition previously published by the Welsh Government and transitioned to Qualifications Wales with minor changes and updates. The changes were made so that the conditions of recognition can be applied by Qualifications Wales to recognised awarding bodies as standard conditions of recognition under the Qualifications Wales Act 2015 and as applied by The Qualifications Wales Act 2015 (Commencement No. 2 and Transitional Provisions) Order 2015. The changes were made by Welsh Government on behalf of Qualifications Wales. Additional changes have been made by Qualifications Wales in view of the removal of the Qualifications and Credit Framework (QCF). For ease of reference, the changes have been incorporated into the Interim Conditions. Qualifications Wales intends to review the Conditions of Recognition and anticipates further changes to reflect the Qualifications in Wales (QiW) process model.
Part 1 The awarding body Section A Governance Condition A1 Suitability for continuing recognition Suitability for continuing recognition A1.1 An awarding body must not, by means of any act or omission which has or is likely to have an adverse effect, render itself unsuitable to continue to be recognised for the award of a relevant qualification. A1.2 For these purposes, an act or omission may include in particular one which results in the awarding body: (d) being convicted of a criminal offence; being held by a court or any professional, regulatory, or government body to have breached any provision of Competition Law, Equalities Law, or Data Protection Law; being held by a court or any professional, regulatory, or government body to have breached a provision of any other legislation or any regulatory obligation to which it is subject, or becoming insolvent or subject to corporate financial restructuring. Inactive awarding bodies A1.3 An awarding body must: take all reasonable steps to ensure that, no two year period passes in which it does not award a qualification in accordance with its Conditions of Recognition. Ensuring the suitability of senior officers A1.4 An awarding body must ensure that each of its Senior Officers is at all times a person suitable to be engaged in that role in an awarding body that is recognised for the award of the relevant qualifications. A1.5 For these purposes, a senior officer may in particular be unsuitable for that role by virtue of: any criminal convictions held by him or her; Part 1, Section A April 2016 1
(d) (e) any finding by a court or any professional, regulatory, or government body that he or she has breached a provision of any legislation or any regulatory obligation to which he or she is subject; any proceedings in bankruptcy or any individual financial arrangements to which he or she is or has been subject; any disqualification from holding the directorship of a company or from public office, or any finding of malpractice or maladministration, in relation to a qualification (whether a regulated qualification or a qualification which is not regulated), to which he or she is or has been subject. Condition A2 Establishment in the EU or the EFTA A2.1 An awarding body must ensure that it at all times: is ordinarily resident in a member state of the European Union or the European Free Trade Association, or is legally established, or has a substantial presence, in a member state of the European Union or the European Free Trade Association. Condition A3 Safeguards on change control Duty on change of control A3.1 Where there is a change of control in relation to an awarding body, it must: take (and procure that every other relevant person takes) all reasonable steps to ensure that the change of control does not have an adverse effect, and put in place a plan designed to ensure that the interests of learners will be protected. Definition of change of control A3.2 For the purposes of this condition, a change of control takes place in relation to an awarding body where: a person obtains control of the awarding body who did not, immediately prior to doing so, have control of it, or the awarding body merges with any person. Part 1, Section A April 2016 2
A3.3 Where the awarding body is a company, sub-sections (2), (3) and (4) of section 450 of the Corporation Tax Act 2010 shall apply for the purpose of determining whether a person has or had control of the awarding body. Condition A4 Conflicts of interest Definition of conflict of interest A4.1 For the purposes of this condition, a conflict of interest exists in relation to awarding body where: its interests in any activity undertaken by it, on its behalf, or by a member of its group have the potential to lead it to act contrary to its interests in the development, delivery and award of qualifications in accordance with its Conditions of Recognition; a person who is connected to the development, delivery or award of qualifications by the awarding body has interests in any other activity which have the potential to lead that person to act contrary to his or her interests in that development, delivery or award in accordance with the awarding body s Conditions of Recognition, or an informed and reasonable observer would conclude that either of these situations was the case. Identifying conflicts of interest A4.2 An awarding body must identify and monitor all conflicts of interest which relate to it, and any scenario in which it is reasonably foreseeable that any such conflict of interest will arise in the future. Managing conflicts of interest A4.3 An awarding body must take all reasonable steps to ensure that no conflict of interest which relates to it has an adverse effect. A4.4 Where such a conflict of interest has had an adverse effect, the awarding body must take all reasonable steps to mitigate the adverse effect as far as possible and correct it. Interests in assessment A4.5 An awarding body must take all reasonable steps to avoid any part of the assessment of a learner (including by way of moderation) being undertaken by any person who has a personal interest in the result of the assessment. Part 1, Section A April 2016 3
A4.6 Where, having taken all such reasonable steps, an assessment by such a person cannot be avoided, the awarding body must make arrangements for the relevant part of the assessment to be subject to scrutiny by another person. The written conflict of interest policy A4.7 An awarding body must establish, maintain, and at all times comply with an up to date written conflict of interest policy, which must include procedures on how the awarding body intends to comply with the requirements of this condition. A4.8 When requested to do so by Qualifications Wales in writing, an awarding body must promptly submit to Qualifications Wales its conflict of interest policy, and must subsequently ensure that the policy complies with any requirements which Qualifications Wales has communicated to it in writing. Condition A5 Availability of adequate resources and arrangements Ensuring the ability to develop, deliver and award qualifications A5.1 An awarding body must: ensure that it has the capacity to undertake the development, delivery and award of qualifications which it makes available, or proposes to make available, in accordance with its Conditions of Recognition, and take all reasonable steps to ensure that it undertakes the development, delivery and award of those qualifications efficiently. A5.2 For these purposes, an awarding body must establish and maintain: (d) (e) arrangements which will ensure that it retains at all times a workforce of appropriate size and competence; arrangements for the retention of data which will ensure that adequate information is available to it at all times; arrangements which will ensure that sufficient technical equipment and support is available to it at all times; appropriate management resources, and appropriate systems of planning and internal control. A5.3 For these purposes, an awarding body must also: regularly review its ongoing resource requirements and make appropriate changes to take into account the findings of each review, and Part 1, Section A April 2016 4
adequately plan any new developments which it proposes to introduce, and allocate sufficient resources to ensure that such developments are effectively introduced. Ensuring financial viability A5.4 An awarding body must ensure that it will have available sufficient financial resources and facilities to enable it to develop, deliver and award qualifications in accordance with its Conditions of Recognition until at least the time by which every learner for a qualification it makes available has had the opportunity to complete that qualification. Condition A6 Identification and management of risks Identifying risks A6.1 An awarding body must take all reasonable steps to identify the risk of the occurrence of any incident which could have an adverse effect. Preventing incidents or mitigating their effect A6.2 Where such a risk is identified, the awarding body must take all reasonable steps to: prevent the incident from occurring or, where it cannot be prevented, reduce the risk of that incident occurring as far as is possible, and prevent any adverse effect that the incident could have were it to occur or, where it cannot be prevented, mitigate that adverse effect as far as possible. Contingency plan A6.3 An awarding body must establish and maintain, and at all times comply with, an up to date written contingency plan. A6.4 A contingency plan must be of sufficient detail and quality to allow the awarding body to mitigate, as far as possible, the adverse effect of any incident which has been identified by the awarding body as having a risk of occurring. Condition A7 Management of incidents A7.1 Where any incident occurs which could have an adverse effect, an awarding body must (whether or not it has previously identified a risk of that incident occurring) promptly take all reasonable steps to: prevent the adverse effect and, where any adverse effect occurs, mitigate it as far as possible and correct it, and Part 1, Section A April 2016 5
give priority to the provision of assessments which accurately differentiate between learners on the basis of the level of attainment they have demonstrated and to the accurate and timely award of qualifications. Condition A8 Malpractice and maladministration Preventing malpractice and maladministration A8.1 An awarding body must take all reasonable steps to prevent the occurrence of any malpractice or maladministration in the development, delivery and award of qualifications which it makes available or proposes to make available. Investigating and managing the effect of malpractice and maladministration A8.2 Where any such malpractice or maladministration is suspected by an awarding body or alleged by any other person, and where there are reasonable grounds for that suspicion or allegation, the awarding body must - so far as possible, establish whether or not the malpractice or maladministration has occurred, and promptly take all reasonable steps to prevent any adverse effect to which it may give rise and, where any such adverse effect occurs, mitigate it as far as possible and correct it. Procedures relating to malpractice and maladministration A8.3 For the purposes of this condition, an awarding body must establish and maintain, and at all times comply with, up to date written procedures for the investigation of suspected or alleged malpractice or maladministration, and ensure that such investigations are carried out rigorously, effectively, and by persons of appropriate competence who have no personal interest in their outcome. A8.4 Where a centre undertakes any part of the delivery of a qualification which an awarding body makes available, the awarding body must take all reasonable steps to keep under review the arrangements put in place by that centre for preventing and investigating malpractice and maladministration. A8.5 An awarding body must, following a request from such a centre, provide guidance to the centre as to how best to prevent, investigate, and deal with malpractice and maladministration. Part 1, Section A April 2016 6
Dealing with malpractice and maladministration A8.6 Where an awarding body establishes that any malpractice or maladministration has occurred in the development, delivery or award of qualifications which it makes available, or proposes to make available, it must promptly take all reasonable steps to: prevent that malpractice or maladministration from recurring, and take action against those responsible which is proportionate to the gravity and scope of the occurrence, or seek the cooperation of third parties in taking such action. A8.7 Where an awarding body has any cause to believe that an occurrence of malpractice or maladministration, or any connected occurrence: may affect a centre undertaking any part of the delivery of a qualification which an awarding body makes available, it must inform that centre; may affect another awarding body, it must inform that awarding body. Part 1, Section A April 2016 7
Section B The awarding body and Qualifications Wales Condition B1 The role of the responsible officer Appointing a responsible officer B1.1 An awarding body must ensure that an individual is at all times appointed to act as its responsible officer. B1.2 The awarding body must ensure that Qualifications Wales is informed in writing of the name of the person from time to time appointed as its responsible officer. The role of the responsible officer B1.3 An awarding body must ensure that its responsible officer serves as the authoritative point of contact for Qualifications Wales in relation to all activities undertaken by the awarding body which are of interest to Qualifications Wales in accordance with the Act, including in particular: (d) (e) any matters relating to its compliance with its Conditions of Recognition; its ability to undertake the efficient development, delivery and award of qualifications; the standards of qualifications that it makes available or proposes to make available; any matters which may affect public confidence in qualifications, and the accessibility of qualifications it makes available, including its compliance with Equalities Law. B1.4 An awarding body must ensure that, where its responsible officer makes a statement to Qualifications Wales (other than one which is required to be made by the Governing Body), Qualifications Wales will be entitled to rely on that statement as being accurate and made on behalf of the awarding body, and the Qualifications Wales gives to its responsible officer a statement, request, or notice addressed to the awarding body, Qualifications Wales will be entitled to treat that statement, request, or notice as having been given to the awarding body. Part 1, Section B April 2016 8
Condition B2 The annual statement to Qualifications Wales B2.1 An awarding body must provide to Qualifications Wales an annual statement in accordance with this condition. B2.2 The statement must specify either: that the awarding body is fully compliant with its Conditions of Recognition at the date of the statement, or that it is not so compliant, in which case the statement must describe each instance of non-compliance and the date by which the awarding body expects to rectify the failure. B2.3 The statement must also specify either: that the awarding body has no cause to believe that it will be likely to fail to comply with any of its Conditions of Recognition during the period of twelve months immediately following the date of the statement, or that it does have such a cause for belief, in which case the statement must describe each instance of potential non-compliance, the ground for believing it to be likely to occur, and the steps being taken by the awarding body in relation to it. B2.4 The statement must be accurate, formally approved by the governing body of the awarding body, and signed by the chair of the governing body and the responsible officer. B2.5 The statement must be made in any form and on any date as may be notified to the awarding body by Qualifications Wales. Condition B3 Notification to Qualifications Wales of certain events Notification where an event could have an adverse effect B3.1 An awarding body must promptly notify Qualifications Wales when it has cause to believe that any event has occurred or is likely to occur which could have an adverse effect. Specific examples of events which could have an adverse effect B3.2 For the purposes of this condition, such events may in particular include those where: there is a substantial error in the awarding body s assessment materials; Part 1, Section B April 2016 9
(d) (e) (f) (g) (h) (i) (j) there has been a loss or theft of, or a breach of confidentiality in, any assessment materials; the awarding body cannot supply assessment materials for a scheduled assessment date; there has been a failure in the delivery of an assessment which threatens assessors ability to differentiate accurately and consistently between the levels of attainment demonstrated by learners; the awarding body will be unable to meet a published date for the issue of results or the award of a qualification; the awarding body has issued incorrect results or certificates; the awarding body believes that there has been an incident of malpractice or maladministration, which could either invalidate the award of a qualification which it makes available or could affect another awarding body; the awarding body has (for any reason, whether inside or outside its control) incurred an increase in costs which it anticipates will result in an increase in its fees of significantly more than the rate of inflation; the awarding body is named as a party in any criminal or civil proceedings or is subjected to a regulatory investigation or sanction by any professional, regulatory, or government body, or a senior officer of the awarding body is a party to criminal proceedings (other than minor driving offences), is subject to any action for disqualification as a company director, or is subject to disciplinary proceedings by any professional, regulatory, or government body. Notification of specified events in all cases B3.3 An awarding body must promptly notify Qualifications Wales if it is, or if it has cause to believe that it is likely to be, subject to: (d) a material change in its governance structure or legal status; a change of control; a merger between it and another body, or any insolvency or bankruptcy proceedings. B3.4 An awarding body must promptly notify Qualifications Wales if it proposes to make available a qualification which is substantially different in type or content to any which it has previously made available. Part 1, Section B April 2016 10
Further requirements on the timing of notifications B3.5 When it notifies Qualifications Wales of an event in accordance with this condition, or as soon as possible afterward, an awarding body must also notify Qualifications Wales of any steps that it has taken or intends to take to prevent the event having an adverse effect or to correct or mitigate that adverse effect if it occurs. B3.6 An awarding body must not delay making a notification to Qualifications Wales in accordance with this condition because relevant information is unavailable, but must notify based on all the information that it has and provide further information to Qualifications Wales once it becomes available. Condition B4 Notice to provide information to Qualifications Wales B4.1 Where Qualifications Wales serves a written notice on an awarding body requiring the awarding body to provide it with any information that it seeks for the purpose of performing its functions, the awarding body must comply with the terms of that notice. B4.2 For these purposes a notice given by Qualifications Wales may: (d) specify the time within which the information is to be provided; specify a form in which the information is to be provided; require that the information is accompanied by such supporting documents or data as may be described, and require an awarding body to provide information whether that information is already in its possession or has to be created or obtained by it. B4.3 An awarding body must ensure that all information provided to Qualifications Wales in accordance with this condition is accurate and complete. Condition B5 Representations regarding qualifications Statements regarding qualifications which are not regulated qualifications B5.1 An awarding body must not (and must take all reasonable steps to ensure that any person connected with it does not) make any statement (via any act or omission) that would be likely to lead users of qualifications to believe that a qualification it makes available (whether regulated or not) is an approved, designated or regulated qualification when it is not an approved, designated or regulated qualification. Part 1, Section B April 2016 11
Advertising and promotion of qualifications B5.2 An awarding body must not (and must take all reasonable steps to ensure that any person connected with it does not) advertise or promote its qualifications in a manner that is likely to be misleading to users of qualifications. Use of the Qualifications Wales logo B5.3 An awarding body must ensure that its use of the Qualifications Wales logo complies with logo requirements and certificate requirements which may be published by Qualifications Wales and revised from time to time. Condition B6 Cooperation with Qualifications Wales B6.1 An awarding body must provide Qualifications Wales with all such assistance as it may request for the purpose of undertaking, in accordance with its functions, an investigation into, or other monitoring in relation to, the activities of that awarding body. Condition B7 Compliance with regulatory documents B7.1 Where a regulatory document requires an awarding body to take or to refrain from taking any action, the awarding body must comply with that requirement. B7.2 Where a regulatory document sets out guidelines or principles of good practice in relation to any behaviour on the part of an awarding body, the awarding body must have regard to those guidelines or principles before it engages in that behaviour. Condition B8 Compliance with undertakings given to Qualifications Wales B8.1 An awarding body must comply with the requirements of any relevant undertaking. B8.2 For the purposes of this condition, a relevant undertaking is an undertaking which: has been given to Qualifications Wales by the awarding body is in writing, and states that it is an undertaking given in accordance with this condition. Part 1, Section B April 2016 12
Section C Third parties Condition C1 Arrangements with third parties C1.1 Where an awarding body arranges for a third party to undertake, on its behalf, any part of the development, delivery or award of qualifications which the awarding body makes available, or proposes to make available, the awarding body must: ensure that the arrangements which it establishes with that third party enable the awarding body to develop, deliver and award qualifications in accordance with its Conditions of Recognition, and monitor and, where appropriate, enforce such arrangements so as to ensure that it is able to develop, deliver and award qualifications in accordance with its Conditions of Recognition. C1.2 An awarding body must take all reasonable steps to ensure that, in making any such arrangements, it does not impose unnecessary or unduly burdensome requirements on third parties. Condition C2 Arrangements with centres C2.1 Where a centre undertakes any part of the delivery of a qualification on behalf of an awarding body, this condition applies in addition to the requirements in Condition C1. C2.2 Where this condition applies, an awarding body must ensure that arrangements between it and the centre include a written and enforceable agreement. C2.3 That agreement must in particular include provisions which (d) (e) require the centre to take all reasonable steps to ensure that the awarding body is able to comply with its Conditions of Recognition; require the centre to take all reasonable steps to comply with requests for information or documents made by the awarding body or Qualifications Wales as soon as practicable; require the centre to assist the awarding body in carrying out any reasonable monitoring activities and to assist Qualifications Wales in any investigations made for the purposes of performing its functions; set out all the requirements with which the centre must comply in order to continue to deliver the qualification; establish a sanctions policy to be applied in the event that the centre fails to comply with these requirements; Part 1, Section C April 2016 13
(f) (g) (h) (i) (j) (k) (l) require the centre to retain a workforce of appropriate size and competence to undertake the delivery of the qualification as required by the awarding body; require the centre to have available sufficient managerial and other resources to enable it effectively and efficiently to undertake the delivery of the qualification as required by the awarding body; require the centre to undertake the delivery of the qualification required by the awarding body in accordance with Equalities Law; require the centre to operate a complaints handling procedure or appeals process for the benefit of learners; set out any moderation processes that the awarding body will undertake or that will be undertaken on its behalf; specify a process to be followed in any withdrawal of the centre (whether voluntary or not) from its role in delivering a qualification, and require the centre to take all reasonable steps to protect the interests of learners in the case of such a withdrawal. C2.4 In the event that the centre withdraws from its role in delivering a qualification, the awarding body must take all reasonable steps to protect the interests of learners. C2.5 The awarding body must, in respect of the parts of the delivery of qualifications which the centre undertakes; provide effective guidance to the centre, and make available to the centre any information which, for the purposes of that delivery, the centre may reasonably require to be provided by the awarding body. Condition C3 - Arrangements with publishers C3.1 Where an awarding body has in place an endorsement process the awarding body must: take all reasonable steps to ensure that the endorsement process does not have an adverse effect, and; publish the criteria which it uses to decide whether or not to endorse a particular resource. C3.2 For the purposes of this condition, an endorsement process is a process by which the awarding body endorses resources which are designed to support the preparation of learners and persons likely to become learners for Part 1, Section C April 2016 14
assessments for a qualification which it makes available or proposes to make available. Part 1, Section C April 2016 15
Part 2 The regulated qualification Section D General requirements for regulated qualifications Condition D1 Fitness for purpose of qualifications D1.1 An awarding body must ensure that each qualification which it makes available is fit for purpose. D1.2 A qualification will only be fit for purpose if that qualification, as far as possible, secures the requirements of: (d) (e) validity; reliability; comparability; manageability, and minimising bias. D1.3 In any case where there is a conflict between two or more of these requirements, an awarding body must secure that it achieves a balance between those requirements that: ensures its compliance with its Conditions of Recognition, and is objectively the optimum balance in relation to the particular qualification. Condition D2 Accessibility of qualifications D2.1 An awarding body must ensure that it complies with the requirements of Equalities Law in relation to each of the qualifications which it makes available. D2.2 An awarding body must monitor qualifications which it makes available for any feature which could disadvantage a group of learners who share a particular characteristic. D2.3 Where an awarding body has identified such a feature, it must: remove any disadvantage which is unjustifiable, and maintain a record of any disadvantage which it believes to be justifiable, setting out the reasons why in its opinion the disadvantage is justifiable. Part 2, Section D April 2016 16
Condition D3 Reviewing approach Review of approach D3.1 An awarding body must keep under review, and must enhance where necessary, its approach to the development, delivery and award of qualifications, so as to assure itself that its approach remains at all times appropriate. Evidence to inform approach D3.2 An awarding body must have due regard to all information, comments and complaints received from users of qualifications in relation to the development, delivery and award of qualifications, and identify and give due regard to any credible evidence which suggests that a change in its approach to the development, delivery and award of qualifications is required in order to ensure that the approach remains appropriate. D3.3 Where an event relating to an awarding body (or an event, of which it is or should be aware, relating to any other awarding body) has had an adverse effect, the awarding body must review and revise where necessary its approach to the development, delivery and award of qualifications to ensure that its approach remains appropriate. Condition D4 Responding to enquiries and complaints procedures Responding to enquiries from users of qualifications D4.1 An awarding body must answer accurately, fully and within a reasonable time any reasonable enquiries received by it from users of qualifications. D4.2 Nothing in this condition obliges an awarding body to disclose information if to do so would breach a duty of confidentiality or any other legal duty. Complaints procedures D4.3 An awarding body must establish, maintain, publish and at all times comply with a written complaints procedure. D4.4 The complaints procedure must in particular include procedures and timescales for: responding to complaints, and dealing with the subject matter of complaints. Part 2, Section D April 2016 17
Condition D5 Compliance of qualifications with regulatory documents D5.1 An awarding body must ensure that any qualification which it makes available, or proposes to make available, complies with any requirement relating to that qualification which is set out in a regulatory document. D5.2 An awarding body must ensure that in the development, delivery and award of any qualification which it makes available, or proposes to make available, it has regard to any guidelines and principles of good practice relating to that qualification which are set out in a regulatory document. Condition D6 Compliance of units developed by others with regulatory documents D6.1 An awarding body may only make available a qualification which uses a unit or rule of combination developed by another person where it reasonably believes that: the unit or rule of combination complies with the requirements relating to it that are set out in any regulatory document; in the development of the unit or rule of combination, due regard has been had to the guidelines and principles of good practice set out in any regulatory document. Condition D7 Management of the change in the status of qualifications or withdrawal of qualifications D7.1 For the purposes of this condition, an awarding body changes the status of a qualification or withdraws a qualification at the point in time when: (d) (e) (f) it ceases to register learners for the qualification; it ceases to deliver or award that qualification to learners; (where a qualification is approved) its approval in respect of that qualification expires; (where a qualification is approved) it surrenders its approval in respect of that qualification; (where a qualification is approved) it has its approval withdrawn by Qualifications Wales in respect of that qualification; (where a qualification is designated) transitional arrangements may be implemented where withdrawal of approval or revocation of designation is made on the basis that the qualification concerned has become a restricted priority qualification; Part 2, Section D April 2016 18
(g) (h) (i) (where a qualification is designated) it has its designation revoked by Qualifications Wales with respect of that qualification; It surrenders its recognition in respect of that qualification, or It has its recognition withdrawn by Qualifications Wales in respect of that qualification. D7.2 Where an awarding body intends to, otherwise believes it to be likely that it will, or is obliged to, change the status or withdraw a qualification, it must take all reasonable steps to protect the interests of learners in relation to that qualification. D7.3 An awarding body must give to Qualifications Wales reasonable notice of its anticipated change of status or withdrawal of an approved or designated qualification, and must do so prior to the time at which it provides that information to any learners, centres, or purchasers of qualifications. D7.4 Where an awarding body intends to change a status or withdraw, or is obliged to change a status or withdraw, an approved or designated qualification, it must: promptly prepare, maintain, and comply with a written plan, which must specify how the interests of learners in relation to that qualification will be protected, and provide clear and accurate information about the withdrawal to learners, centres, and purchasers of qualifications who are likely to be affected by the withdrawal. D7.5 An awarding body must ensure that any plan which it prepares complies with any requirements which Qualifications Wales has communicated to it in writing. D7.6 For the purposes of this condition, a change in status is, for approved qualifications, defined as a qualification which is no longer approved by Qualifications Wales and, for designated qualifications, defined as a qualification which is no longer designated by Qualifications Wales. Condition D8 Making available information to help meet teachers needs D8.1 In respect of each qualification which it makes available, an awarding body must ensure that there is available to each teacher any information which, for the purpose of preparing learners and persons likely to become learners for assessments for that qualification, the teacher may reasonably require to be provided by the awarding body. Condition D9 - Awarding approved qualifications outside of Wales D9.1 Where an awarding body awards a qualification approved by Qualifications Wales to learners assessed wholly or mainly outside of Wales, and where the Part 2, Section D April 2016 19
Qualifications Wales qualification approval number and logo is used on certificates and other materials, the qualification certificate and other materials must include the following statement Qualifications Wales regulates this qualification where it is awarded to learners assessed wholly or mainly in Wales. D9.2 Where data is used to provide an aggregate statistical context for the award of a qualification approved by Qualifications Wales, this shall be based on candidates assessed wholly or mainly in Wales. Part 2, Section D April 2016 20
Section E Design and development of qualifications Condition E1 Qualifications having an objective and support Qualifications to have an objective E1.1 An awarding body must ensure that each qualification which it makes available or proposes to make available: has a clear objective in accordance with this condition, and meets that objective. E1.2 The objective of a qualification must be such as to lead to a benefit for learners who have reached a specified level of attainment, and may include: (d) (e) (f) preparing learners to progress to a qualification in the same subject area but at a higher level or requiring more specific knowledge, skills and understanding; preparing learners to progress to a qualification in another subject area; meeting relevant programmes of learning; preparing learners for employment; supporting a role in the workplace, or giving learners personal growth and engagement in learning. Qualifications to have support E1.3 Where an awarding body proposes to make available any new qualification, it: must first consult users of qualifications to ascertain whether there is support for the qualification, and may only make available the qualification where it has evidence of sufficient support from users of qualifications. E1.4 For these purposes, the following considerations will in particular be relevant in determining what constitutes sufficient support: the objective of the new qualification; whether the new qualification is intended to facilitate a particular route of progression for learners, and Part 2, Section E April 2016 21
the number of learners that the awarding body reasonably estimates is likely to take the new qualification. E1.5 For the purposes of this condition, users of qualifications will be deemed to support a new qualification if the prevailing view of those users of qualifications is that the qualification would provide a benefit to learners. Condition E2 Requirements on qualification titling E2.1 An awarding body must ensure that the title on the qualifications database of any qualification which it makes available includes the following information: (d) (e) the name of the awarding body; the level of the qualification; the type of qualification (where the qualification has a type); a concise indication of the content of the qualification, and any endorsement known at the time the qualification is submitted to the qualifications database. E2.2 An awarding body must, in addition: ensure that the title on the qualifications database reflects the knowledge, skills and understanding which will be assessed as part of the qualification, and take all reasonable steps to ensure that the title allows users of qualifications to identify similar units or qualifications which it makes available or are made available by other awarding bodies. E2.3 An awarding body must ensure that each qualification which it makes available, or proposes to make available, has a title which it uses consistently in its advertising and in its communications with users of qualifications. E2.4 An awarding body must ensure that the titles of qualifications which it makes available, or proposes to make available, are not misleading to users of qualifications. E2.5 An awarding body must ensure that it amends the title on the qualifications database for a qualification which it makes available when it makes any revision to a level assigned to that qualification. Condition E3 Publication of a qualification specification E3.1 An awarding body must, before first making available a particular qualification, publish a specification for that qualification. Part 2, Section E April 2016 22
E3.2 An awarding body must ensure that the specification for a qualification sets out: (d) (e) (f) (g) (h) (i) (j) (k) (l) (m) the qualification s objective; any other qualification which a learner must have completed before taking the qualification; any prior knowledge, skills or understanding which the learner is required to have before taking the qualification; units which a learner must have completed before the qualification will be awarded and any optional routes; any other requirements which a learner must have satisfied before the learner will be assessed or before the qualification will be awarded; the knowledge, skills and understanding which will be assessed as part of the qualification (giving a clear indication of their coverage and depth); the method of any assessment and any associated requirements relating to it; the criteria against which learners levels of attainment will be measured (such as assessment criteria or exemplars); any specimen assessment materials, any specified levels of attainment, where the awarding body is required to make such an assignment under General Condition E7 (Total Qualification Time), the number of hours which it has assigned to that qualification for each of Total Qualification Time and Guided Learning. any value for credit which it has assigned to that qualification and any Component of that qualification, and the level or levels which it has assigned to that qualification and any Component of that qualification. E3.3 An awarding body must ensure that the specification for a qualification is clear, accurate and communicates, to the reasonable and informed person: what the qualification requires of the learner in respect of each of the details that is applicable to the qualification, and how the qualification is fit for purpose. Part 2, Section E April 2016 23
Amendments to the specification E3.4 An awarding body must promptly amend the specification for a qualification following any revision by it of: the number of hours which it has assigned for Total Qualification Time or Guided Learning the level or levels which it has assigned to that qualification or any Component of that Qualification, or any value for credit which it has assigned to that qualification or any Component of that qualification E3.5 Where an awarding body has amended the specification for a qualification it must publish that specification as amended. Application E3.6 Conditions E3.2(l), E3.2(m), E3.4 and E3.5 shall not apply to an awarding body until such date as is specified in, or determined under, any notice in writing issued by Qualifications Wales to the awarding body under this paragraph. E3.7 Any such notice issued by Qualifications Wales may be: subject to any conditions that Qualifications Wales specifies (which may include conditions placing requirements on an awarding body as to its conduct prior to the date specified in or determined under it). issued to an individual awarding body or to any group of awarding bodies. issued in respect of one or more qualifications or descriptions of qualifications. (d) varied by Qualifications Wales at any time prior to the date specified in or determined under it. E3.8 Where Qualifications Wales makes such a notice subject to conditions, an awarding body to which the notice is issued must comply with any requirements that are imposed on it in accordance with those conditions. Condition E4 Ensuring an assessment is fit for purpose and can be delivered E4.1 In designing an assessment for a qualification which it makes available, or proposes to make available, an awarding body must ensure that it has or obtains adequate resources to enable the assessment to be delivered effectively and efficiently. Part 2, Section E April 2016 24
E4.2 In designing such an assessment, an awarding body must in addition ensure that the assessment: (d) (e) (f) (g) is fit for purpose; can be delivered efficiently; allows centres to develop cost effective arrangements for its delivery, using only the resources which would be reasonably expected to be required or which are provided by the awarding body; permits reasonable adjustments to be made, while minimising the need for them; allows each learner to generate evidence which can be authenticated; allows each specified level of attainment detailed in the specification to be reached by a learner who has attained the required level of knowledge, skills and understanding, and allows assessors to be able to differentiate accurately and consistently between a range of attainments by learners. Condition E5 Assurance that qualifications comply with the conditions E5.1 Before submitting a qualification for approval or designation, an awarding body must: review that qualification, and assure itself that the qualification complies with the requirements of its Conditions of Recognition and any relevant approval criteria, making any changes to the qualification which are necessary for that purpose. Condition E6 Submitting qualifications to the Database E6.1 An awarding body must not make available a qualification unless it has first submitted that qualification to the qualifications database. E6.2 An awarding body must ensure that its submission of a qualification to the qualifications database: is in a form that may be published by Qualifications Wales and revised from time to time, contains only accurate information, and contains all information about the qualification that is requested on the form. Part 2, Section E April 2016 25
Condition E7 Total Qualification Time E7.1 In respect of each qualification which it makes available or proposes to make available, an awarding body must assign to that qualification a number of hours for: Total Qualification Time, and Guided Learning E7.2 An awarding body must ensure that the number of hours it assigns to a qualification for Total Qualification Time includes the number of hours which it has assigned to that qualification for Guided Learning. E7.3 In assigning Total Qualification time, an awarding body must have due regard to any relevant information which is reasonably available to the awarding body and record its determination, the rationale and the supporting evidence used both to initially assign and subsequently review the determination. E7.4 An awarding body must: keep under review the number of hours it has assigned to each qualification for each of Total Qualification Time and Guided Learning. in particular, review the numbers of hours assigned following the issue by Qualifications Wales of any TQT Criteria, and revise that number of hours if appropriate E7.5 Following any review by Qualifications Wales of the number assigned to a qualification in respect of Total Qualification Time or Guided Learning, an awarding body must revise that number in any manner required by Qualifications Wales. Application E7.6 Conditions E7.1 to E7.5 shall not apply to an awarding body until such date as is specified in, or determined under, any notice in writing issued by Qualifications Wales to the awarding body under this paragraph. E7.7 Any such notice issued by Qualifications Wales may be: subject to any conditions that Qualifications Wales specifies (which may include conditions placing requirements on an awarding body as to its conduct prior to the date specified in or determined under it). issued to an individual awarding body or to any group of awarding bodies. issued in respect of one or more qualifications or descriptions of qualifications. (d) varied by Qualifications Wales at any time prior to the date specified in or determined under it. Part 2, Section E April 2016 26